Chau, Ling 周凌 Hong Kong SFC License Details (ID 70920)

Chau, Ling 周凌 Hong Kong SFC License Details (ID 70920)

主要資料證監會牌照公開紀律行動

證監會牌照

沒有開始日期的人士至少自現行登記冊於2003年4月1日啟用時起已擔任該職位。

顯示機構舊稱

只顯示現有牌照

機構	角色	受規管活動	開始日期	結束日期
IMO Asset Management Limited	RO	就證券提供意見	2023-11-14	-
	RO	提供資產管理	2023-11-14	-
	Rep	就證券提供意見	2023-09-14	2023-11-14
	Rep	提供資產管理	2023-09-14	2023-11-14
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	Rep	就證券提供意見	2016-07-05	2016-12-12
	Rep	期貨合約交易	2016-07-05	2016-12-12
	Rep	證券交易	2016-07-05	2016-12-12
BOCI SECURITIES LIMITED	Rep	就證券提供意見	2011-08-29	2014-02-05
	Rep	期貨合約交易	2011-08-29	2014-02-05
	Rep	證券交易	2011-08-29	2014-02-05
	Rep	槓桿式外匯交易	2011-08-29	2014-02-05
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	期貨合約交易	2010-02-04	2011-07-07
Nomura Asia Investment (Hong Kong) Limited	Rep	期貨合約交易	2008-02-29	2010-02-19
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	期貨合約交易	2008-02-29	2011-07-07
	Rep	證券交易	2008-02-29	2011-07-07
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	Rep	證券交易	2007-03-05	2008-02-18
CHINA EVERBRIGHT FOREX &AMP; FUTURES (HK) LIMITED	Rep	期貨合約交易	2007-02-12	2008-02-18
	Rep	槓桿式外匯交易	2007-02-12	2008-02-18
PHILLIP COMMODITIES (HK) LIMITED	Rep	期貨合約交易	2007-01-23	2007-01-31
	Rep	槓桿式外匯交易	2007-01-23	2007-01-31
EMPEROR FUTURES LIMITED	Rep	期貨合約交易	2006-12-15	2007-01-01
EMPEROR INTERNATIONAL EXCHANGE (HONG KONG) COMPANY LIMITED	Rep	槓桿式外匯交易	2006-12-15	2007-01-01